Getting it wrong: FSA action against firms
•    Case study: Explore Compliance involvement  
•    Responsibilities in a “Control Function” (CF10)
•    Understanding Senior management responsibilities
•    FSA Requirements
•    Principal tasks and the skills required
•    Reporting lines  
•    Managing expectations
•    Forms, files and registers
•    Risk based compliance monitoring and the Risk Map
•    The “best practice” compliance monitoring methodology
•    FSA and “ARROW”
•    The “Compliance Culture”  
•    Compliance training
•    Achieving added value  
•    Investigations  
•    Managing the regulators
•    Reporting and follow up
•    Escalation